The Commission has increasingly focused on anti-money laundering compliance and the filing of SARs. See, e.g., SEC v. Alpine Securities Corp., No. 1:17-cv-04179 (S.D.N.Y. Filed June 5, 2017). Earlier this year the agency filed an administrative proceeding against a broker …
Year: 2017
This Week In Securities Litigation (Week ending July 28, 2017)
The Commission took the relatively unusual step of issuing an Exchange Act Section 21(a) report of an investigation last week. The report addressed the question of whether tokens issued by a firm using blockchain technology were securities. Halliburton Company settled …
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